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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-02 |
| TX | RA | APPROVED | 2025-12-01 |
Branch Locations
80 Garden Ct Ste 250, Monterey, CA 93940 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Carmel Valley | CA | 01/2005 | 12/2025 |
| Rand, Williams And Associates, Llc | Monterey | CA | 01/2012 | Present |
| Lpl Financial Llc | Monterey | CA | 12/2025 | Present |
1.11/2025 - Rand, Williams & Associates, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 12/01/2025 2. 11/2025 - Carmel Valley Kiwanis - Non-profit volunteer (not on board) - Not Investment Related - 5 Hrs/Mth - 0 Hrs During Trading - Carmel Valley, CA 93924 - OBA Start Date: 10/03/2015
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 2004-08-14 |
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